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Results: 1-10 of 47

Protocol for broker recruiting cannot strip non-signatories of rights
  • Locke Lord LLP
  • USA
  • October 10 2012

A recent decision issued by a FINRA Arbitration Panel in Massachusetts firmly rejected the argument that the terms of the Protocol for Broker Recruiting should be imposed on a non-signatory as purported industry standard


SEC proposes CEO pay ratio disclosure rule
  • Locke Lord LLP
  • USA
  • September 26 2013

The SEC issued a proposed rule on September 18, 2013, that would require most public companies to report the ratio between the annual total


Litigation threat means public companies should review director compensation process
  • Locke Lord LLP
  • USA
  • June 16 2015

Corporate directors are permitted to, and regularly do, set their own compensation. This has not been controversial because boards have typically


The Brocade trial: an important defense gets in the door
  • Locke Lord LLP
  • USA
  • July 3 2007

Until last Friday, Greg Reyes, Brocade's former CEO, had been unable raise an important aspect of his defense: Brocade was only one of many companies that allegedly manipulated stock options grants


The Brocade trial: Judge Breyer may take case away from jury
  • Locke Lord LLP
  • USA
  • July 9 2007

The first criminal trial of stock options backdating conduct may end with the court finding that government prosecutors failed to present sufficient evidence of intent to support a conviction


SEC launches options backdating suit against Broadcom executives
  • Locke Lord LLP
  • USA
  • June 5 2008

The SEC has filed a civil action against four Broadcom executives and its General Counsel in connection with alleged options backdating activity at the company between 1998 and 2003


Potential insurance implications of the JOBS Act
  • Locke Lord LLP
  • USA
  • May 2 2012

On April 5, 2012, President Obama signed the JOBS (Jumpstart Our Business Startups) Act into law


PLUS D&O Symposium 2012 -- Day 1 first panel: latest trends in securities litigation and Dodd-Frank
  • Locke Lord LLP
  • USA
  • February 8 2012

The first panel of the 2012 PLUS D&O Symposium discussed some of the latest trends in securities litigation and opined on potential future developments which may impact the D&O industry


SEC permits (and may require) proxy solicitations on the internet
  • Locke Lord LLP
  • USA
  • February 5 2007

Issuers and third parties will soon be able to solicit proxies for annual meetings by posting proxy materials on an Internet website


Executive compensation and corporate governance in regulatory reform bill
  • Locke Lord LLP
  • USA
  • May 14 2010

This week Senators continued debate on S3217, the Restoring American Financial Stability Act of 2010